In response to the news that a new federal panel has been tasked to study ways to improve securities regulation, Quebec’s Minister of Finance, Monique…
Changes address concerns of stakeholders, regulators say
The U.S. Securities and Exchange Commission has appointed a new head for its Office of Risk Assessment, and plans to beef up its efforts to…
Merrill Lynch, Prudential Securities, Pruco and UBS fined a total of US$2.4 million
CSA joins forces with Fraud Prevention Forum
CWM and MacDougall agree to pay registration fees
Review identifies environmental liabilities and risks as areas of concern
Measure aimed at improving transparency in client relationships
Comment period open until April 22
Decision says Savage's appeal bound to fail
Regulator imposes lifetime ban
Firm failed to supervise accounts in RRSP stripping scheme
Hockin panel to develop model common securities act
Improper trades made on behalf of hedge fund client
Ponzi scheme operators committed fraud, regulator finds
Commission erred in failing to provide reasons for its decision, appeal court finds
Regulator alleges trio illegally sold securities
U.S. regulator launches Financial Explorer
Canada providing $5 million to support global anti-money laundering group
New regulations cover real estate developers
The Saskatchewan Financial Services Commission announced that several legislative changes, including the introduction of civil liability for secondary market disclosure, will come into force February…
The U.S. Commodity Futures Trading Commission announced the establishment of an advisory committee that will provide a public forum to examine emerging issues related to…
Regulators seeking feedback on three key issues
Review shows financial system strong
Calgary-based Reiffenstein will be banned permanently if he doesn’t cooperate